Filing Details

Accession Number:
0000904454-19-000602
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-08-08 16:27:47
Reporting Period:
2019-08-06
Accepted Time:
2019-08-08 16:27:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1427570 Obalon Therapeutics Inc OBLN Surgical & Medical Instruments & Apparatus (3841) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1535065 P. Kim Kamdar C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-08-06 12,500 $4.00 27,148 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants to Purchase Common Stock Acquisiton 2019-08-06 9,375 $4.00 9,375 $4.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,375 2019-08-06 2024-08-06 No 4 P Direct
Footnotes
  1. The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.
  2. The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019
  3. Includes 1,340 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.